Join WilmerHale UK Partner Lloyd Firth and Counsel Imogen Makin together with US Partner Michelle Diamond for a scenario-focused deep dive into the application of the UK Financial Conduct Authority’s new rules and guidance concerning non-financial misconduct.

The non-financial misconduct regulatory landscape in the UK is more complex and judgment heavy than ever. The FCA guidance on the application of the new rules published in December last year is helpful but neither exhaustive nor prescriptive. This webinar will focus on a handful of practical scenarios that firms might experience relating to non-financial misconduct, apply the new rules and guidance to those scenarios, and work through the range of potential outcomes. We will also cover learnings from the US and where the US and UK diverge.

Topics of discussion will include:

• Non-financial misconduct: summary of the new rules and guidance;
• Practical scenarios applying the rules and guidance;
• Learnings from the United States; and
• Key takeaways.

Participants will have the opportunity to contribute questions for the panellists online during the webinar. CLE credit is pending for this program.

*CLE credit is not available for those who watch a recording of the webinar.

WilmerHale has been accredited by the New York State and California State Continuing Legal Education Boards as a provider of continuing legal education. This program is being planned with the intention to offer CLE credit in California and non-transitional credit in New York. This program, therefore, is being planned with the intention to offer CLE credit for experienced New York attorneys only. Attendees of this program may be able to claim England & Wales CPD. WilmerHale has been approved as a Colorado Certified Provider, as recognized by the Colorado Supreme Court Continuing Legal and Judicial Education Committee. We will apply for Colorado CLE (after the program) if requested. The type and amount of credit awarded will be determined solely by the Colorado Supreme Court. New Jersey grants reciprocal credit for programs that are approved in New York. We can also issue Connecticut credit. All attendees, regardless of jurisdiction, will receive a uniform certificate of attendance that shows the states in which the program was approved. Attendees who need credit in another jurisdiction can use the uniform certificate of attendance to self-apply. CLE credit is not available for on-demand webinar recordings.